What SEC filings does AXT, Inc. submit to the SEC?

AXT, Inc. (AXTI) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about AXTI?

A Form 4 for AXTI discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from AXT, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for AXTI?

The 10-K is AXT, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all AXTI SEC filings directly on EDGAR?

You can view all historical AXT, Inc. filings on the SEC EDGAR company page for AXTI. Each filing card on this page links directly to the original SEC document.

How often does AXT, Inc. file with the SEC?

AXT, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling AXTI shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

AXTI SEC Filing News — AXT, Inc.

Latest SEC filings for AXT, Inc. (AXTI) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-08-19.

AXT, Inc. designs, develops, manufactures, and distributes compound and single element semiconductor substrates. The company provides indium phosphide for use in data center connectivity using light/lasers, high-speed data transfer in data centers, 5G communications, fiber optic lasers and detectors, consumer devices, passive optical networks, silicon photonics, photonic integrated circuits, thermo-photovoltaics, RF amplifier and switching, infrared light-emitting diode (LEDS) motion control, li…

Sector: Technology Industry: Semiconductor Equipment & Materials Market Cap: $3.8B CIK: 1051627

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for AXTI currently lean bearish. Of the 20 filing records displayed, 6 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

AXTI Filing Activity Snapshot 2026-06-08 — 2026-08-19

Insider Transactions (Form 4)

0 buys vs 6 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$2.04M

CHEN JESSE (Director) · 2026-06-15

22,000 shares · Form 4

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 7 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 7 filings in this group are Form 4s for AXT, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 7 insider filings shown, the breakdown is 6 open-market sale and 1 gift. 6 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market sale ×6: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Gift ×1: Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Form 4 Open-market sale Insider Selling 2026-08-19

AXTI insider LEBLANC LEONARD J (Director) sold 2,500 shares (~$221.4K)

LEBLANC LEONARD J, listed as Director at AXT INC, reported an open-market sale of 2,500 AXTI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	500	$89.59	$44.8K
`S`	Open-market sale	2,000	$88.31	$176.6K

Filing: Form 4 (Insider Transaction) Insider: LEBLANC LEONARD J (Director) Shares: 2,500 Est. Value: $221.4K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-19

AXTI insider LEBLANC LEONARD J (Director) sold 4,000 shares (~$384.3K)

LEBLANC LEONARD J, listed as Director at AXT INC, reported an open-market sale of 4,000 AXTI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	4,000	$96.07	$384.3K

Filing: Form 4 (Insider Transaction) Insider: LEBLANC LEONARD J (Director) Shares: 4,000 Est. Value: $384.3K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-06-17

AXTI insider CHEN JESSE (Director) sold 6,172 shares (~$711.3K)

CHEN JESSE, listed as Director at AXT INC, reported an open-market sale of 6,172 AXTI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	6,172	$115.24	$711.3K

Filing: Form 4 (Insider Transaction) Insider: CHEN JESSE (Director) Shares: 6,172 Est. Value: $711.3K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-06-17

AXTI insider CHANG DAVID C (Director) sold 8,333 shares (~$926.4K)

CHANG DAVID C, listed as Director at AXT INC, reported an open-market sale of 8,333 AXTI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	8,333	$111.17	$926.4K

Filing: Form 4 (Insider Transaction) Insider: CHANG DAVID C (Director) Shares: 8,333 Est. Value: $926.4K

View on SEC EDGAR → Open Filing Document →

Form 4 Gift Tax / Compensation Filing 2026-06-16

AXTI insider Form 4 filed for equity award, exercise, or tax withholding

YOUNG MORRIS S (Director, CEO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were transferred as a gift, typically for estate or charitable planning. No sale into the market took place.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`G`	Gift	1,200	—	—

Filing: Form 4 (Insider Transaction) Insider: YOUNG MORRIS S (Director, CEO) Shares: 1,200

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-06-15

AXTI insider CHEN JESSE (Director) sold 22,000 shares (~$2.04M)

CHEN JESSE, listed as Director at AXT INC, reported an open-market sale of 22,000 AXTI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	9,000	$88.55	$796.9K
`S`	Open-market sale	13,000	$95.77	$1.25M

Filing: Form 4 (Insider Transaction) Insider: CHEN JESSE (Director) Shares: 22,000 Est. Value: $2.04M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-06-10

AXTI insider CHEN JESSE (Director) sold 16,500 shares (~$1.48M)

CHEN JESSE, listed as Director at AXT INC, reported an open-market sale of 16,500 AXTI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	6,000	$94.00	$564.0K
`S`	Open-market sale	1,500	$93.30	$139.9K
`S`	Open-market sale	9,000	$86.73	$780.6K

Filing: Form 4 (Insider Transaction) Insider: CHEN JESSE (Director) Shares: 16,500 Est. Value: $1.48M

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 3 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. AXT, Inc. has 3 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-08-17

AXTI Form 144 filed for proposed insider sale by LEBLANC LEONARD J (4,000 shares) ~$371.7K

LEBLANC LEONARD J filed a Form 144 with the SEC indicating intent to sell AXTI (AXT INC) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: LEBLANC LEONARD J Shares: 4,000 Est. Value: $371.7K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-08-07

AXTI Form 144 filed for proposed insider sale by LEBLANC LEONARD J (2,000 shares) ~$175.0K

Filing: Form 144 (Proposed Sale Notice) Insider: LEBLANC LEONARD J Shares: 2,000 Est. Value: $175.0K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-06-08

AXTI Form 144 filed for proposed insider sale by CHANG DAVID C (8,333 shares) ~$797.1K

CHANG DAVID C filed a Form 144 with the SEC indicating intent to sell AXTI (AXT INC) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: CHANG DAVID C Shares: 8,333 Est. Value: $797.1K

View on SEC EDGAR → Open Filing Document →

Material Events 9 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 9 in this period for AXT, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-07-30